Introduction to FICA Compliance Risk Management
"Explore FICA compliance risk management with insights from experts Christopher Malan, Ashleigh Mooij, and Jan Augustyn. Learn about their roles, responsibilities, and contributions to the financial intelligence sector."
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Presentation Transcript
SESSION 1 COMPLIANCE Risk Management as an introduction to FICA 12h05 13h15 An organisation in transition with a strong current mandate TIC_PCC
PANELLISTS Mr Mr Christopher Malan Christopher Malan Executive Manager of the Compliance and Prevention Division Ms Ashleigh Ms Ashleigh Mooij Manager: Compliance and Prevention Division Mooij Adv Jan Adv Jan Augustyn Augustyn Manager: Supervision and Enforcement at Financial Intelligence Centre
Mr Mr Christopher Malan Christopher Malan Responsibility for monitoring the national state of supervision, and inspections, by supervisory bodies and status of compliance of accountable and reporting institutions, and affected persons, ito FICA. Holds the BA (Political Studies & Roman Dutch Law), LLB and LLM (Advanced Company Law & Maritime Law) degrees and Postgraduate Diploma in Tax Law (University of Cape Town), Postgraduate Diploma in Economic Principles (SOAS University of London) and attended the Program on the Global Financial System: Structure, Crisis and Reform (JFK School of Government, Harvard University). He is a former attorney, with right of appearance in the High Court, and a certified anti-money laundering specialist (Association of Anti-Money Laundering Specialists), since 2013 Led the consultations with the banks and casinos for reporting electronically cash threshold transactions to the FIC system to system, and the registration of all affected institutions with the FIC, with effect 01 December 2010. In 2016, led the consultation on the new FIC registration and reporting system ( goAML EE platform), which went live in April 2016. Designed the strategic and operational framework for the public private financial information sharing partnership, comprising the FIC, Prudential Authority and banks, operationalised as the South African Anti Money Laundering Integrated Taskforce (SAMLIT), in 2019.
Ms Ashleigh Ms Ashleigh Mooij Filled the role of MLRO and operational fraud expert in both domestic and international banks for the first half of her career. She is now a manager at the FIC for over 9 years, responsible for the drafting and issuance of FIC Act guidance, management of awareness and outreach initiatives and external stakeholder correspondence within the compliance and prevention portfolio. Mooij She holds a BCom Law, Honours in General Management and Masters in Fraud Risk Management. Ashleigh was part of the South African regulatory team that facilitated the 2019 mutual evaluation process, and is actively involved in the coordination of the supervisory oversight grey listing action items. She is also a qualified FATF standards trainer; and a FATF country assessor, having been an assessor for the 2022 mutual evaluation of Indonesia focusing on AML/CFT compliance mitigating controls and supervisory oversight for the DNFBP sector.
Adv Adv Jan Jan served in the Department of Justice from 1 December 1981 and for 19 years in various positions, including Private Secretary to two Ministers of Justice, as prosecutor and State Advocate. Conducted investigations and prosecuted high profile economic criminal matters at the Investigating Directorate: Serious Economic Crime as a Senior State Advocate between 1996 and June 2000. In June 2000, he established and headed the Investigation and Prosecution Department at the newly established Micro Finance Regulatory Council ( MFRC ). In June 2005, the MFRC was absorbed into the National Credit Regulator (NCR) under the newly established National Credit Act and Jan established and headed the Investigations and Enforcement Division in the NCR. In February 2012 until February 2015, he joined the Financial Intelligence Centre as an Enforcement Specialist.. From 1 March 2015 until November 2022, he practiced law as an advocate at the Gauteng Society of Advocates in the following fields: civil law, Credit Law and related, Personal Information legislation, anti- money laundering. In November 2022 until the present, Jan was recalled to the FIC, Member of the Gauteng Society of Advocates and a Commercial Forensic Practitioner at the Institute of Commercial Forensic Practitioners (ICFP). Jan Augustyn Augustyn
